- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred. ~or~ + Any equivalent combination of experience, ... reviews. + Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory… more
- MUFG (Tampa, FL)
- …of internal audit, and/or equivalent experience with the financial services industry, related markets, and related regulatory agencies. + Experience ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- MUFG (Tampa, FL)
- …of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies. + Experience ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- The Walt Disney Company (Celebration, FL)
- …lending operations. You will analyze, assess and implement various privacy and financial regulatory compliance programs for requirements such as GLBA, AML/BSA, ... initiatives). **Required Qualifications & Skills** + 4+ years of experience in financial services , compliance, legal, or business affairs. + Proven experience… more
- Raymond James Financial, Inc. (FL)
- …(Any State) - Various State Agencies, Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - ... Lending. Responsible for PCB sales and growth objectives and service performance. Builds relationships and position themselves as key...Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), Series 7_GS… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …finance, business administration, or related field and eight (8) years experience in financial services , including five (5) years in a management position. ~or~ ... - More than 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 7_TR - Sec Trader -… more
- Raymond James Financial, Inc. (Orlando, FL)
- …- 3 to 6 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 65 or Series 66_RA - ... required production. * Provides a high level of client service . * Manages the full scope of a client...Investment Adv Rep - Financial Industry Regulatory Authority (FINRA), Series 7_GS… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …- 13 months to 3 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA), Series 63_AG - Agent - ... the ability to think independently sufficient to market ideas, services and products to our brokers and clients. +...Financial Industry Regulatory Authority (FINRA), Series 7_GS - Gen Sec Rep… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …responsibility and a solid business understanding of Raymond James products and services . + Financial analysis concepts, practices, and procedures. + Fundamental ... risk management and mitigation strategies to support sound financial planning. + Regulatory expectations for Large Financial Institutions (LFI). **Ability… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …responsibility and a solid business understanding of Raymond James products and services . + Financial analysis concepts, practices, and procedures. + Fundamental ... risk management and mitigation strategies to support sound financial planning. + Regulatory expectations for Large Financial Institutions (LFI). **Ability… more